4//SEC Filing
BARTH JOHN M 4
Accession 0001205031-05-000001
CIK 0000053669other
Filed
Jan 6, 7:00 PM ET
Accepted
Jan 7, 6:26 PM ET
Size
19.6 KB
Accession
0001205031-05-000001
Insider Transaction Report
Form 4
BARTH JOHN M
DirectorChairman, CEO & President
Transactions
- Award
Phantom Stock Units/LTPP
2005-01-03+12,844.86→ 53,279.549 total→ Common Stock (12,844.86 underlying)
Holdings
- 133,805.677
Phantom Stock Units/Restricted Stock Grant
→ Common Stock (133,805.677 underlying) - 150,000
Stock Option
Exercise: $28.42From: 2002-11-15Exp: 2010-11-15→ Common Stock (150,000 underlying) - 110,204(indirect: By Trust)
Common Stock
- 126,220(indirect: By Trust)
Common Stock
- 29,953.583
Phantom Stock Units/Excess Benefit Plan - Common
→ Common Stock (29,953.583 underlying) - 14,929.11(indirect: By 401(k))
Common Stock
- 350,000
Stock Option
Exercise: $40.30From: 2004-11-20Exp: 2012-11-20→ Common Stock (350,000 underlying) - 400,000
Stock Option
Exercise: $52.55From: 2005-11-19Exp: 2013-11-19→ Common Stock (400,000 underlying) - 200,000
Stock Option
Exercise: $40.12From: 2003-11-14Exp: 2011-11-14→ Common Stock (200,000 underlying)
Footnotes (11)
- [F1]The number of underlying securities is based on the stock fund balance on 1/6/2005. The actual number of shares issuable upon the distribution date is not determinable since the stock fund is a unitized account consisting of 96% company stock and 4% money market fund. The stock account balance reflected in this report is based on an 1/6/2005 stock fund price of $61.23 per share.
- [F10]Includes 118.788 phantom stock units acquired through the reinvestment of dividends on January 3, 2005, at a price of $62.79 per phantom unit.
- [F11]Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after grant date.
- [F2]The phantom stock units convert to the common stock's cash value on a one-for-one basis.
- [F3]The phantom stock units were accrued under the Johnson Controls Deferred Restricted Stock Plan and are to be settled 100% in cash upon the reporting person's retirement.
- [F4]Includes 530.638 phantom stock units acquired through the reinvestment of dividends on January 3, 2005, at a price of $62.79 per phantom unit.
- [F5]Date on which the shares allocable to insider's acccount became fixed. Acquisition qualifies for exemption under Rule 10b5-1(c).
- [F6]Date notification received from the trustee of the plan.
- [F7]The phantom stock units were accrued under the Johnson Controls Long-Term Performance Plan and are to be settled 100% in cash upon the reporting person's retirement.
- [F8]Includes 211.296 phantom stock units acquired through the reinvestment of dividends on January 3, 2005, at a price of $62.79 per phantom unit.
- [F9]The phantom stock units were accrued under the Johnson Controls Equalization 401 (k) Benefit Plan and are to be settled 100% in cash upon the reporting person's retirement.
Documents
Issuer
JOHNSON CONTROLS INC
CIK 0000053669
Entity typeother
Related Parties
1- filerCIK 0001205031
Filing Metadata
- Form type
- 4
- Filed
- Jan 6, 7:00 PM ET
- Accepted
- Jan 7, 6:26 PM ET
- Size
- 19.6 KB